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Detailed Report
VIVIAN WENLING CHANG
CRD#: 2837375
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 221 E WALNUT ST
STE 270
PASADENA, CA 91101
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - Present (27 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1997 - 2006 (9 years)
Disclosure(s)
View By:
5/14/2012
Customer Dispute
Award / Judgment
1/16/2003
Customer Dispute
Denied
License(s)

State Registrations

B
California 2/26/1997
B
New York 1/8/2022
IA
California 12/15/1997

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
221 E WALNUT ST STE 270, PASADENA, CA 91101
Registered with this firm since 12/15/1997
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
221 E WALNUT ST STE 270, PASADENA, CA 91101
Registered with this firm since 2/13/1997
Previous Registration(s)
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B
 02/13/1997 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.